keys keys to enhance your supervisory success taking disciplinary action
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KEYSKeys to Enhance Your Supervisory Success
Taking Disciplinary Action
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Learning Objectives
What you will learn:
The types of disciplinary action and ways to determine which ones are appropriate
Seven Tests of Just Cause as a framework for disciplinary action
Practice having investigatory conversations
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Agenda
Introduction Setting the ContextSeven Tests of Just CauseCase Study – Investigatory Interview PracticeDisciplinary AlternativesRisk ManagementOther ResourcesKeys to Taking Disciplinary ActionLearning Review
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Core Competencies
Key Learning Points and the Core Competencies: Inclusiveness
Equitable of analysis of performance Equitable administration of discipline
Managing people Communicate performance expectations Provide consequences for failure to meet expectations
Problem solving Analysis of performance problem. What is it and cause? Determine appropriate solution (training, coaching, discipline,
etc.?) Communication
Clearly communicate performance expectations Provide specific feedback to guide employee
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The Five Questions Employees Ask Themselves The Five Questions Employees Ask Themselves that Most Affect Retention that Most Affect Retention
1. Do I know what is expected of me at work?
2. Do I have the resources to do my job?
3. Do I have the opportunity to do what I do best every day?
4. Does my supervisor, or someone, care about me as a person?
5. At work, does my opinion count?
From the Gallup Survey of 100 Best Places to Work
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Definition of “Taking Disciplinary Action”Definition of “Taking Disciplinary Action”
Taking disciplinary action is an orderly process designed to correct performance deficiencies or unacceptable conduct in the workplace.
The desired result is correction of problems and adherence to performance standards and work rules.
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Taking Disciplinary ActionTaking Disciplinary Action
Guiding PrinciplesGuiding Principles
In carrying out disciplinary action be sure to: Keep the disciplinary process confidential. Diagnose the problem. Provide specific examples. Allow employee opportunity to explain. Make sure discipline is the appropriate tool. Make sure “the punishment fits the crime.” Provide specific recommendations for improvement. Communicate the consequences if performance or conduct
does not improve. Discipline is to be constructive, not punishment.
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The Seven Tests of Just Cause
1. Reasonable Rule or Work Order
2. Adequate Notice
3. Sufficient Investigation
4. Fair Investigation
5. Proof
6. Equal Treatment
7. Appropriate Penalty
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The Seven Tests of Just Cause
1. Reasonable Rule or Work OrderReasonable Rule or Work Order
Is the rule clear? Is it applied consistently? What is your department’s past practice for discipline?
2. Notice2. Notice
Did the employee receive notice? How was the employee made aware of it? What evidence do you have that the employee is aware of
it? Has this issue been raised before? Prior notice may not be necessary in cases of serious
misconduct .
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The Seven Tests of Just Cause (continued)(continued)
3. Sufficient InvestigationSufficient Investigation
Did you investigate performance problems as well as conduct issues?
Are there witnesses? Are there written records, processes or procedures that have a
bearing on the case?• Is there equipment that should be examined? • Do you need to call Audit and Advisory Services (formerly Internal
Audit) or the campus police? • Was the Weingarten right to representation granted?
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The Seven Tests of Just Cause (continued)(continued)
4. Fair InvestigationFair Investigation
• Was the investigation prompt?
• Who should conduct the investigation?
• Should the employee remain on the work site during the investigation?
• Have you tried reconciling conflicting statements and evidence?
• Did you talk to the employee?
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Characteristics of An Effective Investigation
Prompt
Planned and Organized
Thorough and Complete
Objective
Confidential
Adequately Documented
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The Seven Tests of Just Cause (continued)(continued)
5. Proof5. Proof
• Did you find proof of misconduct and performance discrepancy?
• Are your conclusions clearly supplied?
• Is evidence substantial?
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The Seven Tests of Just Cause (continued)(continued)
6. Equal Treatment6. Equal Treatment
• Are work rules applied consistently?
• Are all employees held accountable?
• Have similarly situated employees (similar records and infractions) received the same discipline?
• What is your department’s past practice?
• Are you disciplining the worst offenders?
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The Seven Tests of Just Cause (continued)(continued)
7. Appropriate Discipline7. Appropriate Discipline
• Does the punishment fit the crime?
• Is punishment related to the employment record (length of service and performance)?
• What is employee covered by (CUE, UPTE, etc.)?
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Disciplinary AlternativesDisciplinary Alternatives
Oral Warning
Written Warning
Suspension Without Pay
Reduction of Pay Within a Class
Demotion to a Lower Classification
Dismissal
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Five Steps to Meeting Skelly Requirements
Employee performs unsatisfactorily or engages in misconduct
Supervisor issues intent letter
Intended action is reviewed at next level
Final action is determined
Employee is notified of final action
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Risk Management
Release during probationMore likely to correct unacceptable
performanceMore likely to inhibit unacceptable
performance in othersReduces grievances & litigationIf litigation, UC more likely to prevail
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
Other ResourcesOther Resources
Applicable personnel policies and union contracts
Employee Relations unit in Human Resources, or your representative in your shared services center
Ombudspersons for staff
CARE Services for Faculty and Staff
University Extension ESL classes
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The KEYS
Things a Supervisor Needs to Know: Make decisions during probationary period Establish & communicate clear performance
expectations Make sure discipline is the appropriate tool (vs.
coaching, etc) Discipline is to correct performance deficiencies or
unacceptable conduct – not to punish Discipline must be administered progressively unless it is
for misconduct (e.g. theft, fighting, etc) Conduct a sufficient and fair investigation of
performance problems as well as misconduct issues
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
The KEYS continued…
Things a Supervisor Needs to Know: Provide specific examples of performance deficiencies
so employee understands what needs correction Make sure you are treating similarly situated employees
equitably Make sure the discipline is appropriate to the deficiency
or infraction Discipline is a communication tool for supervisors and is
to be kept confidential
KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley
On-the-Job Application Action Plan
What do you commit to do on-the-job to integrate lessons learned today? Be specific.
Action Items1. Provide an employee with
constructive feedback
2. Item 23. Item 3
Time Frame1. Within one week of this class
2. When3. When
Track Series: Be prepared to discuss at your Manager Check-in Meeting and Peer Consulting Group.
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